TIDMRR. TIDM42SB

RNS Number : 5575B

Rolls-Royce Holdings plc

08 October 2020

Rolls-Royce Holdings plc

TR-1: S tandard form for notification of major holdings

 
 NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and 
  to the FCA in Microsoft Word format if possible) (i) 
 
 1a. Identity of the issuer or the                                      Rolls-Royce Holdings plc 
  underlying issuer of existing shares 
  to which voting rights are attached 
  (ii) : 
                                                             ---------------------------------------------- 
 1b. Please indicate if the issuer is a non-UK issuer (please mark with 
  an "X" if appropriate) 
 Non-UK issuer 
                                                                                                       ---- 
 2. Reason for the notification (please mark the appropriate box or boxes 
  with an "X") 
 An acquisition or disposal of voting rights                                                             X 
                                                                                                       ---- 
 An acquisition or disposal of financial instruments                                                     X 
                                                                                                       ---- 
 An event changing the breakdown of voting rights 
                                                                                                       ---- 
 Other (please specify)(iii) : 
                                                                                                       ---- 
 3. Details of person subject to the notification obligation (iv) 
 Name                                                         The Goldman Sachs Group, Inc. 
 City and country of registered office                        Corporation Trust Center, 1209 Orange 
  (if applicable)                                              Street, 
                                                               Wilmington DE 19801, USA 
 4. Full name of shareholder(s) (if different from 3.) (v) 
 Name 
                                                             ---------------------------------------------- 
 City and country of registered office 
  (if applicable) 
                                                             ---------------------------------------------- 
 5. Date on which the threshold was                           02/10/2020 
  crossed or reached (vi) : 
                                                             ---------------------------------------------- 
 6. Date on which issuer notified (DD/MM/YYYY):               06/10/2020 
                                                             ---------------------------------------------- 
 7. Total positions of person(s) subject to the notification obligation 
                              % of voting       % of voting rights     Total of both    Total number 
                            rights attached      through financial       in % (8.A +     of voting rights 
                            to shares (total        instruments             8.B)         of issuer (vii) 
                                of 8. A)           (total of 8.B 
                                                     1 + 8.B 2) 
                          ------------------  ----------------------  ---------------  -------------------- 
 Resulting situation 
  on the date 
  on which threshold 
  was crossed 
  or reached                     2.96%                 0.20%               3.15%           1,930,995,313 
                          ------------------  ----------------------  ---------------  -------------------- 
 Position of                      n/a                   n/a                 n/a 
  previous notification 
  (if 
  applicable) 
                          ------------------  ----------------------  ---------------  -------------------- 
 
 
 
 8. Notified details of the resulting situation on the date on which 
  the threshold was crossed or reached (viii) 
 A: Voting rights attached to shares 
 Class/type of       Number of voting rights                              % of voting rights 
 shares               (ix) 
 ISIN code (if 
 possible) 
                           Direct                    Indirect                      Direct                  Indirect 
                          (Art 9 of            (Art 10 of Directive          (Art 9 of Directive     (Art 10 of Directive 
                          Directive                2004/109/EC)             2004/109/EC) (DTR5.1)        2004/109/EC) 
                         2004/109/EC)               (DTR5.2.1)                                            (DTR5.2.1) 
                           (DTR5.1) 
                                          ----------------------------- 
   GB00B63H8491                                     56,973,215                                              2.95% 
                    --------------------  -----------------------------  -------------------------  --------------------- 
   US7757812067                                       94,334                                                0.005% 
                    --------------------  -----------------------------  -------------------------  --------------------- 
 
 SUBTOTAL 8. A                           57,067,549                                            2.96% 
                    ---------------------------------------------------  ------------------------------------------------ 
 
 B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC 
  (DTR5.3.1.1 (a)) 
 Type of financial   Expiration   Exercise/                        Number of voting                  % of voting 
  instrument          date         Conversion Period                rights that may                   rights 
                      (x)          (xi)                             be acquired if 
                                                                    the instrument 
                                                                    is 
                                                                    exercised/converted. 
                    -----------  -------------------------------  --------------------------------  --------------------- 
 Securities 
  Lending            Open                                                     1,088,893                     0.06% 
                    -----------  -------------------------------  --------------------------------  --------------------- 
 
 
                                  SUBTOTAL 8. B 1                             1,088,893                     0.06% 
                                 -------------------------------  --------------------------------  --------------------- 
 
 B 2: Financial Instruments with similar economic effect according to 
  Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b)) 
 Type of         Expiration       Exercise/             Physical or            Number of             % of voting 
 financial        date (x)         Conversion            cash                   voting rights         rights 
 instrument                        Period (xi)           settlement 
                                                         (xii) 
                ---------------  --------------------  ---------------------  -------------------- 
 Refer to the 
  annexure 
                ---------------  --------------------  ---------------------  -------------------- 
 
 
                                                        SUBTOTAL 8.B.2              2,760,891               0.14% 
                                                       ---------------------  -------------------- 
 
 
 
 
 9. Information in relation to the person subject to the notification 
  obligation (please mark the 
  applicable box with an "X") 
 Person subject to the notification obligation is not controlled 
  by any natural person or legal entity and does not control any other 
  undertaking(s) holding directly or indirectly an interest in the 
  (underlying) issuer (xiii) 
 Full chain of controlled undertakings through which the voting rights                          X 
  and/or the 
  financial instruments are effectively held starting with the ultimate 
  controlling natural person or legal entity (xiv) (please add additional 
  rows as necessary) 
        Name (xv)            % of voting rights      % of voting rights       Total of both if 
                               if it equals or        through financial        it equals or is 
                              is higher than the      instruments if it        higher than the 
                             notifiable threshold    equals or is higher     notifiable threshold 
                                                     than the notifiable 
                                                          threshold 
                           ----------------------  ---------------------  ------------------------ 
 The Goldman Sachs 
  Group, Inc. 
                           ----------------------  ---------------------  ------------------------ 
 IMD Holdings LLC 
                           ----------------------  ---------------------  ------------------------ 
 United Capital Financial 
  Partners, Inc. 
                           ----------------------  ---------------------  ------------------------ 
 United Capital Financial 
  Advisers, LLC 
                           ----------------------  ---------------------  ------------------------ 
 
 The Goldman Sachs 
  Group, Inc. 
                           ----------------------  ---------------------  ------------------------ 
 Goldman Sachs & 
  Co. LLC 
                           ----------------------  ---------------------  ------------------------ 
 
 The Goldman Sachs 
  Group, Inc. 
                           ----------------------  ---------------------  ------------------------ 
 GSAM Holdings LLC 
                           ----------------------  ---------------------  ------------------------ 
 Goldman Sachs Asset 
  Management, L.P. 
                           ----------------------  ---------------------  ------------------------ 
 
 The Goldman Sachs 
  Group, Inc. 
                           ----------------------  ---------------------  ------------------------ 
 Goldman, Sachs & 
  Co. Wertpapier GmbH 
                           ----------------------  ---------------------  ------------------------ 
 
 The Goldman Sachs 
  Group, Inc. 
                           ----------------------  ---------------------  ------------------------ 
 Folio Financial, 
  Inc. 
                           ----------------------  ---------------------  ------------------------ 
 Folio Investments 
  Inc. 
                           ----------------------  ---------------------  ------------------------ 
 
 10. In case of proxy voting, please identify: 
 Name of the proxy holder                           N/A 
                                                   ----------------------------------------------- 
 The number and % of voting rights                  N/A 
  held 
                                                   ----------------------------------------------- 
 The date until which the voting rights             N/A 
  will be held 
                                                   ----------------------------------------------- 
 
 11. Additional information (xvi) 
 Please note, the total amount of voting rights has been rounded to 2 
  decimal places therefore there is a possibility of a rounding error. 
 
  General email contact: 
  gs-regops-emea-position-enquiries@gs.com 
 
 
 
 Place of completion   London 
 Date of completion    06/10/2020 
                      ----------- 
 

Annexure

 
 B 2: Financial Instruments with similar economic effect according to 
  Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b)) 
 
 Type of       Expiration    Exercise/Conversion    Physical or        Number of                                                                   % of voting 
 financial      date(x)       period(xi)            cash                voting rights                                                               rights 
 instrument                                         settlement(xii) 
              ------------  ---------------------  -----------------  --------------------------------------------------------------------------  ------------ 
 Put Warrant   31/12/2030                            Cash                                                                          1,305,268       0.07% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Put Warrant   31/12/2030                            Cash                                                                             789,136      0.04% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Swap          22/12/2020                            Cash                                                                             346,231      0.02% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Swap          05/10/2020                            Cash                                                                                70,149    0.004% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Put Warrant   31/12/2030                            Cash                                                                                58,000    0.003% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Swap          17/11/2020                            Cash                                                                                40,681    0.002% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Swap          31/12/2030                            Cash                                                                                31,254    0.002% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Put Warrant   31/12/2030                            Cash                                                                                27,000    0.001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Put Warrant   31/12/2030                            Cash                                                                                25,000    0.001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Swap          31/12/2030                            Cash                                                                                20,000    0.001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Swap          31/12/2030                            Cash                                                                                17,433    0.001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Swap          31/12/2030                            Cash                                                                                14,000    0.001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Put Warrant   06/10/2020                            Cash                                                                                  8,000   0.0004% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Swap          31/12/2030                            Cash                                                                                  5,739   0.0003% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Put Warrant   31/12/2030                            Cash                                                                                  3,000   0.0002% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  ------------ 
 Total Number of voting rights and percentage of voting 
  rights                                                               2,760,891                                                                   0.14% 
                                                                      --------------------------------------------------------------------------  ------------ 
 Additional information: Please note, total amount of voting rights have 
  been rounded to 2 decimal places therefore there is a possibility of 
  a rounding error. 
 
 
 Name of authorised officer of issuer responsible for making notification: 
  P amela Coles 
  Date of notification: 8 October 2020 
  L EI: 213800EC7997ZBLZJH69 
 

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